Enhanced Supervision Objectives of Enhanced Supervision The overall

Enhanced Supervision

ü Objectives of Enhanced Supervision: The overall objectives of Enhanced Supervision are to protect the interest of investors and to promote the development of stock exchange and to regulate the activities of stock market. The objectives of Enhanced Supervision are: v 1. To regulate the activities of stock exchange. v 2. To protect the rights of investors and ensuring safety to their investment. v 3. To prevent fraudulent and malpractices by having balance between self regulation of business and its statutory regulations. v 4. To regulate and develop a code of conduct for intermediaries such as brokers etc.

ü CAPITAL ENTRY v Capital Entry details in case of BSE received in ICCL login -- Collateral --MP report file. v Base Capital details in case of NSE received in CL 01, MG 05 file or Margin File. v Capital Entry for details in case of MCX Received in Obligation file. v This file also gives details of Cash, FD, BG , Securities & Free Balance available. v The Base Capital, Cash, FD, & BG set only one time, If any change done. then only have to change values. v Free Balance values changes on daily basis. v Securities value get from the same file(MG 05 Or Margin), which change on daily. v All Report Export in CSV format for save daily basis value get change.

Capital Entry

ü SETTINGS v All Exchanges Client Bank code update for balance. v Settelment Bank update in client bank. v GRP 1 Exchanges list, Segment mapped under GRP 1. v GRP 2 Exchanges list, Segment mapped under GRP 2. v GRP 1 Pledge list, details for pledge Ben update for securities. v GRP 1 Beneficiary list, details for all Ben update. v GRP 2 Pledge list, details for pledge Ben update for securities. v Haircut File Upload according to given pledge details. v Format provided for Haircut file to import accordingly.

Setting

Process Screen for Capital Entry done, Bank balances & Securities, also it shows log for earlier process done as per group selection.

Different types of report generated as per given document, also the Enhanced supervision Cirular & Formulated excel for day to day woking with details fetch from row data file for reference.

Click on Enhanced supervision Excel zip file get download in that two file available Sebi Row & Formulated.

Copy Enhanced Supervision row data in Sebi Row excel.

Based on copied data in row excel, get the formulated enhanced supervision for verify data with software generated report.

All upload file given format

All Uploading file format

Bank Balance file with group wise selection.

Client Bank Balance report

Report for Credit Client

Credit Client Balances as per mention format

Debit Client Balances as per mention format

Capital Entry report generate

Capital Entry Balances as per mention format

Enhanced Supervision Row Table Report to verify the record

Enhanced Supervision Report

Enhanced Supervision Generated Report

Scrip Details for information for given pledge with haircut file upload.

Pledge Report Client Wise.

E(value of Own (G) (H) = |G| (G)(if Securities if(|G|<|D|) - |D| positive) with exchange) P F (Non I=P(Propriet (A) If funded (G+E+F) G ory Positive BG) if positive Margin) 0 0 0 11323713 0. 5 1047263. 3100410 54 63231929. 0 52 0 0 0 329207. 23 0 0 B(Colletra A(Client C(Client D(Client l Deposit) G = (A+B) Exchange bank Credit Debit BG 50% -C Funds) balance) Funded Grp 1 1750754 0 3. 28 BSE_CASH 0 CD_NSE 0 0 17750000 0 0 167500 0 00 200000 0 0 B(Colletra MC C(Client l Deposit) (Debit Credit BG 50% Margi balance ) Funded n) 17507543. 0 0 28 1132371 0 17750000 30. 5 1047263. 0 3100410 54 MF J(Free Differenc Colletral e ) 0 0 0 29757 0 1. 67 0 NSE_CASH 0 41250000 20045196 7. 8 18352785 0 3. 1 0 0 0 187500 2354. 34 0 00 0 2004519 12047 41250000 0 67. 8 932. 21 0 NSE_FNO 0 11923658 55030716. 3 18 16061716. 0 53 0 0 0 5503071 11923658 10566 0 6. 18 3 6247. 3 0 1750754 18133699 36976707 26315070 170922541. 0 3. 28 3 8. 1 6. 3 41. 8 8 0 0 375000 2354. 34 0 00 Total 0 0 17507543. 3697670 18133699 11801 0 28 78. 1 3 1751. 2 6332524 1. 84 Enhanced Supervision Report in Excel with Formulation : Formulated Enhanced Supervision export in excel provided in report menu download to use by copying data from row table & get final report level calulation for verification with Enhanced Supervision actual report.

Thank You